Filing Details

Accession Number:
0001127602-12-015680
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-05-03 08:47:18
Reporting Period:
2012-05-02
Filing Date:
2012-05-03
Filing Date Changed:
2012-05-03
Accepted Time:
2012-05-03 09:47:18
Original Submission Date:
Issuer
Cik Name Symbol Sector (SIC) IRS No
4962 American Express Co AXP Finance Services (6199) 134922250
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1392134 T Daniel Henry 3 World Financial Center
200 Vesey St., American Express Tower
New York NY 10285
Evp, Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings
Common Stock Acquisiton 2012-05-02 2,582 $31.06 64,525
Common Stock Acquisiton 2012-05-02 68,544 $43.98 133,069
Common Stock Acquisiton 2012-05-02 179,532 $16.71 312,601
Common Stock Disposition 2012-05-02 210,125 $60.63 102,476
Common Stock Disposition 2012-05-02 40,000 $60.56 62,476
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-05-02 2,582 $0.00 2,582 $31.06
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-05-02 68,544 $0.00 68,544 $43.98
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-05-02 179,532 $0.00 179,532 $16.71
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-03-25 2013-03-24 No 4 M Direct
0 2005-01-26 2014-01-25 No 4 M Direct
59,845 2010-01-29 2019-01-28 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 20 Indirect 401(k) trust
Footnotes
  1. The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock options exercises reported above and the sale of 50% of the net shares acquired from these exercises; Mr. Henry will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.38 to $60.99. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
  3. The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.51 to $60.63. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
  5. Shares held in reporting person's account under the Company's Retirement Savings Plan. This plan uses unit accounting, and the number of shares that a participant is deemed to hold varies with the unit price of the Company pooled stock fund.
  6. Three installments of 59,844 shares each vested on 1/29/2010, 1/29/2011, and 1/29/2012, respectively.
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